-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, HQ9fgZcieqyxTz4uv8uWAvtFmdcsAVi2evNwn0E4RQvYO03mUbbiDerTecse+kW0 3x8aAc9bJsIeDrTw/Goatg== 0000092472-99-000049.txt : 19991210 0000092472-99-000049.hdr.sgml : 19991210 ACCESSION NUMBER: 0000092472-99-000049 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991130 FILED AS OF DATE: 19991209 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SOUTHWEST WATER CO CENTRAL INDEX KEY: 0000092472 STANDARD INDUSTRIAL CLASSIFICATION: WATER SUPPLY [4941] IRS NUMBER: 951840947 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-08176 FILM NUMBER: 99771275 BUSINESS ADDRESS: STREET 1: 225 N BARRANCA AVE STE 200 CITY: WEST COVINA STATE: CA ZIP: 91791-1605 BUSINESS PHONE: 8189151551 MAIL ADDRESS: STREET 1: 225 N BARRANCA AVENUE STREET 2: SUITE 200 CITY: WEST COVINA STATE: CA ZIP: 91791-1605 FORMER COMPANY: FORMER CONFORMED NAME: SUBURBAN WATER SYSTEMS DATE OF NAME CHANGE: 19751202 COMPANY DATA: COMPANY CONFORMED NAME: FASMAN MICHAEL J CENTRAL INDEX KEY: 0001063317 STANDARD INDUSTRIAL CLASSIFICATION: [] OTHER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: ALLEN & FASMAN STREET 2: 9595 WILSHIRE BLVD STE 210 CITY: BEVERLY HILLS STATE: CA ZIP: 90212 BUSINESS PHONE: 626-915-1551 MAIL ADDRESS: STREET 1: 225 N BARRANCA AVE STE 200 CITY: WEST COVINA STATE: CA ZIP: 91791-1605 4 1 FORM 4 - NOVEMBER 30, 1999 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP (X) Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). 1. Name and Address of Reporting Person FASMAN, MICHAEL J. ALLEN & FASMAN 9595 Wilshire Boulevard Suite 210 Beverly Hills, CA 90212 2. Issuer Name and Ticker or Trading Symbol SOUTHWEST WATER COMPANY SWWC 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year November 30, 1999 5. If Amendment, Date of Original (Month/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( ) Director ( ) 10% Owner ( ) Officer (give title below) (X) Other (specify below) Director Emeritus 7. Individual or Joint/Group Filing (Check Applicable Line) (X) Form filed by One Reporting Person ( ) Form filed by More than One Reporting Person
___________________________________________________________________________________________________________________________________ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1. Title of Security |2. |3. |4.Securities Acquired (A) |5.Amount of |6.Dir |7.Nature of Indirect | | Transaction | or Disposed of (D) | Securities |ect | Beneficial Ownership | | | | | Beneficially |(D)or | | | | | | | A/| | Owned at |Indir | | | Date |Code|V| Amount | D | Price | End of Month |ect(I)| | ___________________________________________________________________________________________________________________________________| Common Stock, $0.01 par val|11/26/|M | |6,642 |A |$6.25-$8.60|20,212 |D |/1 | ue |99 | | | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Con- |3. |4. |5.Number of De |6.Date Exer|7.Title and Amount |8.Price|9.Number |10.|11.Nature of| Security |version |Transaction | rivative Secu |cisable and| of Underlying |of Deri|of Deriva |Dir|Indirect | |or Exer | | | rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |Price of| | | posed of(D) |Day/Year) | |rity |Benefi |or | | |Deriva- | | | |Date |Expir| | |ficially |Ind| | |tive | | | | A/|Exer-|ation| Title and Number | |Owned at |ire| | |Secu- | | | | | D |cisa-|Date | of Shares | |End of |ct | | |rity |Date |Code|V| Amount | |ble | | | |Month |(I)| | ___________________________________________________________________________________________________________________________________| Stock Option (Right to|$6.25 |03/11|A | |3,099 |A |/2 |11/26|Common Stock|3,099 | |3,099 |D | | Buy) | |/91 | | | | | |/99 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (exercise|$6.25 |11/26|M | |3,099 |D |/2 |11/26|Common Stock|3,099 | |0 |D | | ) | |/99 | | | | | |/99 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$3.43 |05/15|A | |1,189 |A |/3 |11/26|Common Stock|1,189 | |1,189 |D | | Buy) | |/95 | | | | | |/99 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$3.43 |11/26|H | |1,189 |D |/3 |11/26|Common Stock|1,189 | |0 |D | | Buy) | |/99 | | | | | |/99 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$4.81 |02/08|A | |2,362 |A |/4 |11/26|Common Stock|1,039 | |1,039 |D | | Buy) | |/96 | | | | | |/99 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$4.81 |02/08|H | |1,039 |D |/4 |11/26|Common Stock|1,039 | |0 |D | | Buy/Exercise) | |/96 | | | | | |/99 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$6.35 |05/22|A | |2,362 |A |/5 |11/26|Common Stock|2,362 | |2,362 |D | | Buy) | |/97 | | | | | |/99 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$6.35 |11/26|M | |2,362 |D |/5 |11/26|Common Stock|2,362 | |0 |D | | Buy./Exercise) | |/99 | | | | | |/99 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$8.60 |05/28|A | |2362 |A |/6 |11/26|Common Stock|2,362 | |2,362 |D | | Buy) | |/98 | | | | | |/99 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option(Right to |$8.60 |05/28|M | |1,181 |D |/6 |11/26|Common Stock|1,181 | |1,181 |D | | Buy/Exercise) | |/98 | | | | | |/99 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| Stock Option (Right to|$8.60 |11/26|H | |1,181 |D |/6 |11/26|Common Stock|1,181 | |0 |D | | Buy/Exercise) | |/99 | | | | | |/99 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: /1, /2, /3, /4, /5, and /6 adjusted for stock dividends on 01/02/96, 01/02/97 and 01/02/98, a 5-for-4 stock split in the form of a dividend on 10/20/98 and a 3-for-2 stock split on 10/20/99. /1 Gifted 700 shares on 1/29/98 to The Jewish Federation council of Greater Los Angeles. /2Granted under SWWC's Employee Stock Purchase Plan issued under old Rule 16b-3. Exercisable @ 1/5 a year beginning 02/01/91. /3 Exercisable @ 1/5 a year beginning 03/11/92. /4 Exercisable @ 1/5 a year beginning 05/15/96. /5 Exercisable @ 1/5 a year beginning 02/08/97. /6 Issued under SWWC's Stock Option Plan for Non-Employee Directors. Exercisable @ 1/2 a year beginning 05/22/98. /6 Issued under SWWC's Stock Option Plan for Non-Employee Directors. Exercisable @ 1/2 a year beginning 05/28/99. ALL REMAINING STOCK OPTIONS NOT EXERCISED WERE CANCELLED ON 11/26/99 DUE TO MR. FASMAN'S CHANGE IN INSIDER STATUS FROM DIRECTOR TO APPOINTED DIRECTOR EMERITUS ON MAY 27, 1999. SIGNATURE OF REPORTING PERSON /s/ Michael J. Fasman DATE December 7, 1999 -----END PRIVACY-ENHANCED MESSAGE-----